Exhall Grange Specialist School
Public Interest Disclosure
(Whistleblowing) Policy 2015
(incorporating Anti-Bribery Statement)
Links to other policies
Responsible Staff
CM/JS
Governors Committee Responsible
Staffing and Finance Committee
Date approved by GB
Review Date
Version 1
This policy will be reviewed bi-annually
Issue Date: June 2015
Review Date: June 2018
Contents
Public Interest Disclosure (Whistleblowing) Policy (incorporating AntiBribery Statement)
1. Introduction
2. Definitions
3. Related Policies, Procedures and Documents
4. Rationale
5. Scope of the Policy
6. Core Principles
7. Improving the well-being of Children
8. Implementation, Monitoring and Review
Appendices
1. Confidential Reporting Procedures
2. Confidential Reporting Procedure – Internal Procedures Flowchart
3. Model Whistleblowing Form
4. Anti-Bribery Statement
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Public Interest Disclosure (Whistleblowing) Policy (incorporating Anti-Bribery
Statement)
1. Introduction
1.1
It is important that any alleged fraud, misconduct or wrongdoing by its employees or officers is
reported and properly dealt with. All staff are encouraged to raise any genuine concerns that they
may have about a risk, malpractice or wrongdoing at work which may affect students, the public and
staff at the earliest reasonable opportunity.
1.2
The aim of this Policy is to:
i.
provide an opportunity for employees to raise genuine concerns internally and receive
feedback on any action taken including indicating how the matter can be taken further if there
is dissatisfaction with the governing body response;
ii.
reassure those reporting concerns that they will be protected from reprisals or victimisation
for confidential reporting (see Appendix 1, paragraph 7.2 for a further explanation of the
meaning of confidential) ;
iii.
put in place relevant support measures for individuals using the reporting procedures.
1.3
The objective of this Policy is the facilitation of this aim. By providing suitable arrangements and
undertakings, individuals will feel confident that raising a concern is the right decision and that they
will not experience any victimisation as a result of making a disclosure. This Policy therefore sets
out the way in which individuals may raise any concerns that they have and how those concerns will
be investigated and dealt with in a timely and effective manner.
1.4
This Policy has been approved by recognised trade unions and has been the subject of consultation
with them.
1.6
This Policy contains an anti-bribery statement at Appendix 4. Employees and associated persons
(as defined in the statement) are expected to report any concerns regarding suspected bribery in
accordance with the schools’ whistleblowing procedures contained in Appendix 4 of this Policy.
2. Definitions
2.1
‘Employee’ means any person who has entered inot and works under a contract of employment
undertaking to do or perform personally (or otherwise) any work or service for the school, other than
a person who is genuinely self-employed;
2.2
“Worker” means any person who can be defined as an employee or who may be uder a contractual
obligation to a third party to undertake work or service for the school.
2.3
‘Detrimental treatment’ includes being unfairly penalised, disciplined or subjected to any other
detriment (including termination of the worker's contract, where he or she is not an employee). A
worker has the right not to be subjected to any detriment by his or her employer done on the ground
that he or she has made a protected disclosure. In addition, whistleblowers are protected from
suffering a detriment, bullying or harassment from another worker;
2.4
‘Protected disclosure’ means the same as a ‘qualifying disclosure’;
2.5
‘Qualifying disclosure’ means a disclosure which is made in the public interest by a worker who has
a reasonable belief that:
i.
a criminal offence;
ii.
a miscarriage of justice;
iii.
an act creating risk to health and safety;
iv.
an act causing damage to the environment;
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v.
a breach of any other legal obligation; or
vi.
concealment of any of the above;
is being, has been, or is likely to be, committed.
2.6
3.
‘Whistleblowing’ means the making of a protected disclosure which in the reasonable belief of the
worker tends to show the type of conduct set out at 6.10 below. The school’s preference is for such
matters to be raised confidentially within the school in accordance with the provisions of this Policy.
Such conduct will also include any illegal, immoral, irregular, dangerous or unethical activity under
their employer's control. This can cover a broad range of matters, including mismanagement,
bribery, fraud and health and safety failures.
Related Policies and Documents
3.5
Financial Regulations;
3.6
Internet and Social Media Policy;
3.8
Staff Disciplinary Policy;
3.9
Staff Grievance Policy;
3.10 Safeguarding Policy;
3.11 Capability Policy (Teacher and Support staff versions);
3.12 Teacher Appraisal Policy;
3.13 Staff Behaviour (Code of Conduct) Policy
3.14 Other policies and documents may be identified from time to time as circumstances change and
may be added to this list.
4.
Rationale
4.1
The School is committed to the highest possible standards of openness, probity and accountability
and to tackling wrongdoing. In line with that commitment the school encourages all of its employees
with serious concerns about any aspect of school work to use the Policy to raise those concerns
which will be given due consideration and dealt with in an appropriate manner as provided by the
legislation in this area and this Policy.
4.2
Whistleblowing is important as it encourages openness, transparency and public integrity. It is also
important in respect of safeguarding health and safety and protecting against bribery and
corruption.
4.3
Implementing good practice in the context of whistleblowing will help the school to comply with the
legislation by protecting employees from dismissal and detriment short of dismissal for making a
protected disclosure.
4.4
Whistleblowing is also critical to quality control, risk management and good governance. It can
benefit the school by the provision of information about problems within the organisation.
Employees are often in the best position to know about malpractice within an organisation.
4.5
Good practice can encourage employees to make a report about wrongdoing to their employer
rather than to a third party. Where an individual makes an internal disclosure, this gives the
employer the chance to deal with the matter before it escalates, thereby helping to avoid an
embarrassing external disclosure.
4.6
Having effective arrangements for reporting concerns about wrongdoing is therefore likely to
encourage the supply of information about organisational problems, deter external disclosures and
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help the school to demonstrate that it has adequate procedures in place should it be investigated
for bribery.
5.
Scope of the Policy
5.1
This Policy applies to all employees and officers of the organisation. Other individuals performing
functions in relation to the organisation, such as agency workers and contractors, are encouraged
to use it.
5.2
It is not necessary for an employee or individual to have proof that such an alleged act is being, has
been, or is likely to be, committed, a reasonable belief is sufficient. An employee has no
responsibility for investigating the matter it is the responsibility of the governing body to ensure that
an investigation takes place.
5.3
An employee who makes a protected disclosure has the right not to be dismissed, subjected to any
other detriment or victimised, because he/she has made a disclosure.
5.4
The school encourages employees to raise their concerns using the procedures set out in this
Policy in the first instance. If an employee is not sure whether or not to raise a concern, he/she
should discuss the issue with his/her immediate line manager.
5.5
This Policy should not be used to raise employment terms and conditions issue. The school has
procedures in place by which grievances relating to employment can be lodged or a complaint may
be made under the bullying and harassment procedures. Equally, there are also complaints and
disciplinary policies in place. Employees should be aware that if they decide to raise a concern
related to their own employment at an Employment Tribunal, they will be required to raise this as a
grievance with their employer in the first instance.
6.
Core Principles
6.1
Everyone should be aware of the importance of preventing and eliminating wrongdoing at work.
Employees should be watchful for illegal or unethical conduct and report anything of that nature that
they become aware of.
6.2
Any matter raised under the procedures contained within this Policy will be investigated thoroughly,
promptly and confidentially and the outcome of the investigation reported back to the employee who
raised the issue.
6.3
No employee will be victimised for raising a matter under this procedure. This means that the
continued employment and opportunities for future promotion or training of the employer will not be
prejudiced because he/she has raised a legitimate concern.
6.4
Victimisation of an employee for raising a qualified disclosure will be a disciplinary offence.
6.5
Maliciously making a false allegation will be a disciplinary offence i.e. unfounded allegations where
there is no supporting proof and no evidence that shows that the matter actually occurred and that it
was made in a way which is motivated by wrongful, vicious, or mischievous purposes.
6.6
An instruction to cover up wrongdoing is itself a disciplinary offence. If told not to raise or pursue
any concern, even by a person in authority such as a manager, an employee should not agree to
remain silent.
6.7
If misconduct is discovered as a result of any investigation under the procedures contained within
this Policy, schools’ disciplinary procedure will be used, in addition to any appropriate external
measures.
6.8
The confidential reporting procedure is intended primarily to cover concerns that fall outside the
scope of other procedures and in some instances to provide a clear and speedy route for
investigation of issues that may inform the disciplinary procedure.
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6.9
Any employee who makes an allegation that turns out to be unfounded will not be penalised for
being genuinely mistaken; if, however, the allegation is proven to have been made with malicious
intent, as defined above in 6.5, then it should be understood that this is a disciplinary offence.
6.10 Particular instances of misconduct or wrongdoing may relate to:
i.
any unlawful act, whether criminal or a breach of civil law;
ii.
maladministration, as defined by the Local Government Ombudsman;
iii.
breach of any statutory Code of Practice;
iv.
breach of, or failure to implement or comply with the Financial Regulations or Standing
Orders;
v.
breach of contract;
vi.
any failure to comply with appropriate professional standards;
vii.
fraud, corruption, dishonesty or the abuse of public funds;
viii.
actions which are likely to cause physical danger to any person, or to give rise to a risk of
significant damage to property;
ix.
sexual or physical abuse of pupils or members of staff;
x.
loss of income to the school;
xi.
abuse of power, or the use of the school powers and authority for any unauthorised or ulterior
purpose;
xii.
discrimination in employment or in the provision of education;
xiii.
any other matter which cannot be raised under any other procedure;
xiv.
an attempt to cover up any of the above.
6.11 The above list is not exhaustive and further advice can be taken from Public Concern at Work, (see
Appendix 1 paragraph 7.5) if an employee is unclear as to whether the use of this Policy is
appropriate to their particular circumstances.
6.12 Where an employee wishes to make a disclosure about possible misconduct by a colleague,
Manager or Headteacher, or about a health and safety issue, they should follow the procedures laid
down in Appendix 1 to this Policy.
6.13 Where an employee wishes to make an allegation about safeguarding issues concerning a child,
young person or vulnerable adult, they should follow the procedures laid down in the Safeguarding
Policy.
7.
7.1
Equality Analysis
By virtue of the provisions of the Equality Act 2010, the school has a duty to have due regard to the
need to:
i.
eliminate unlawful discrimination, harassment and victimisation and other prohibited conduct;
ii.
advance equality of opportunity between people of different groups;
iii.
foster good relations between people from different groups.
7.2
In implementing this Policy and associated procedures, the school will actively take these aims into
account as part of its decision making process and will demonstrate how this has been undertaken.
7.3
Where necessary a full equality impact assessment will be undertaken.
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8. Improving the well-being of Children
8.1
9.
9.1
In implementing his Policy the school will ensure that it fulfils the requirements of the Childrens Act
2004 to improve the well-being of children. The school aims to ensure that all its pupils, whatever
their background or their circumstances, have the support they need to:
i.
be healthy;
ii.
stay safe;
iii.
enjoy and achieve;
iv.
make a positive contribution;
v.
achieve economic well-being.
Implementation, Monitoring and Review
The Governing Body and Headteacher have responsibility for this Policy and for ensuring that:
i.
appropriate procedures are in place and are implemented;
ii.
any concerns and any action taken are reported to the Board of Directors; and
iii.
all school employees are aware of their rights and duties under the Public Interest Disclosure
Act.
9.2
The Governing Body has overall responsibility for this Policy and for monitoring and evaluating its
implementation and impact.
9.3
The Chair of Governors will report to the Governing Body at the first meeting of the Committee of
each academic year whether any disclosures were made under the procedures appended to this
report during the previous year.
9.4
At the end of the investigation, the Chair of Governors will, as far as is possible and with due regard
to third party rights, inform the employee making the allegation of the outcome. If the decision is
that no action be taken, the reasons for this decision will be made known to the employee making
the allegation.
9.5
If the employee making the allegation is not satisfied with the decision or where members of staff,
or individual governors, have concerns relating to the conduct of the Governing Body and/or the
Senior Management of the school, and where it would be unreasonable to raise these concerns
within the school, then the Strategic Director of the People Group or the Head of Service for
Learning & Achievement (or his or her nominee) should be contacted.
9.6
This Policy will be reviewed every three years and updated, as applicable, to ensure that it remains
appropriate in the light of any relevant changes to the law, organisational policies or contractual
obligations.
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Appendix 1
Confidential Reporting Procedures
1.
Disclosure
1.1
Any employee knowing or suspecting that another employee, a contractor or any other person
connected with the school is responsible for malpractice or misconduct as outlined in paragraphs
6.10. 6.12 and 6.14 of this Policy, must use the procedures set out in this appendix.
1.2
Under no circumstances should an employee suspecting malpractice or misconduct make the
matter public; such an action may itself be considered to be misconduct and expose the employee
concerned to disciplinary action.
1.3
The procedure to be followed is to contact the immediate line manager, Headteacher or Chair,
possibly via another member of staff or their trade union representative and arrange a meeting. The
Model Whistleblowing Form (Appendix 3) Model Whistleblowing Form may be used.
1.4
If the allegation concerns the Headteacher, the employee should contact the Chair of Governors.
1.5
Different procedures cover allegations of abuse of children, young people and vulnerable adults and
should be used in such cases, including initially reporting all such allegations to the Local Authority
Designated Officer (LADO).
1.6
All communications between the employee making the allegation and the school on the subject of
the allegation will be to the employee’s home address.
1.8
Model Whistleblowing Form:
2.
i.
The legislation protecting individuals who make a protected disclosure applies not only to
employees but also to any person who undertakes to do or perform personally (or otherwise)
any work or service for the employer, regardless of the nature of the contractual relationship
between them.
ii.
While there is no set method through which an employee must make a protected disclosure,
it is good practice to provide a form for him or her to set out the disclosure. This allows the
school to identify an issue as a formal public interest disclosure before invoking its
whistleblowing procedure.
iii.
The form also has the advantage of prompting an employee to provide details of his or her
concerns, such as examples of the dates and times of when the wrongdoing is alleged to
have taken place, and what action the employee would like to see taken. The form may also
prompt the employee to think about whether or not the issue is serious enough to warrant
invoking the whistleblowing procedure in the first place and allow the school to distinguish
between a genuine public interest disclosure and a personal grievance that would be better
dealt with under its grievance procedure.
iv.
The form is also designed to allay any concerns that the employee may have that individuals
implicated in the wrongdoing, (for example, his or her line manager) will be involved in the
investigation.
Initial Interview
2.1
The Headteacher (or The Chair of Governors where the allegation concerns the Headteacher) will
arrange an interview with the employee making the allegation. The interview will be arranged at a
time and place which will ensure confidentiality and may therefore be held away from the premises.
2.2
Where the employee making the allegation agrees, this interview will take place in the presence of
a witness. The employee may be accompanied by a friend, who may be a work colleague, trade
union representative or other person. The friend should not be a legal representative unless notice
is given, to enable the Chair of Governors to be accompanied by a legal representative, should the
Chair of Governors so choose.
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2.3
The Chair of Governors will take a full note of the allegation. The Chair of Governors will provide the
employee making the allegation a copy of the note within five clear working days of the interview.
The Chair of Governors will invite the employee making the allegation to clarify any matter or record
a disagreement with the note. The Chair of Governors will then ask the employee making the
allegation to sign a copy of the note and return it.
2.4
Within five clear working days of the interview the Chair of Governors, will write to the employee
making the allegation:
3.
3.1
i.
acknowledging that the allegation has been received;
ii.
providing the note of the initial interview;
iii.
giving an estimate of how long it will take to provide a final response;
iv.
outlining whether any initial enquiries have been made;
v.
clarifying whether further investigations will take place, and, if not, why not;
vi.
where an investigation is to be made, indicating how it will be dealt with and where possible
who the investigating officer will be.
Investigation
Where there appears to be some substance in the disclosure, the Chair of Governors will arrange
an investigation into the allegation, except where:
i.
the disclosure suggests criminal activity may be involved, in which case paragraph 4.1.i of
this procedure will apply;
ii.
the allegation concerns weak management rather than malpractice. In this case, with the
agreement of the employee making the allegation, the Chair of Governors will report the
matter to the Headteacher and will inform the employee making the allegation that the matter
will be handled through the normal line management structure. If the allegation concerns the
Headteacher, the Chair of Governors will undertake the investigation. If the allegation
concerns the Chair the Vice Chair should attempt to investigate in the first instance so a
school response can be given to the matter. The Vice Chair should seek guidance from their
HR provider.
3.2
The nature of the investigation will depend on the type of allegation i.e. police matter (with potential
criminal allegations) or internal safeguarding/conduct matter. The Chair of Governors will be
advised of the approach to match these circumstances as a consideration of the timings may be
necessary. For example if there were a police investigation this might need to be concluded before
an internal investigation commences. Once the investigation is able to proceed the Chair of
Governors should seek guidance from their HR Provider.
3.3
The Chair of Governors may, at his/her discretion seek an external auditor (or appropriately trained
or experienced professional) to conduct the investigation.
3.4
In some cases the Chair of Governors may consider it appropriate to suspend the employee who
may be the subject of allegations ‘without prejudice’ to allow the impunity of the evidence being
investigated or there is a possible risk of harm to children posed by an accused person needs,
which needs to be effectively evaluated and managed in respect of the child(ren) involved in the
allegations. Suspension must not be an automatic response when an allegation is reported.
If the school is concerned about the welfare of other children in the community or the teacher’s
family, those concerns should be reported to the LADO or police but suspension is highly unlikely to
be justified on the basis of such concerns alone.
Suspension should only be considered in a case where there is cause to suspect a child or other
children at the school is or are at risk of significant harm, or the allegation warrants investigation by
the police, or is so serious that it might be grounds for dismissal. However, a person should not be
suspended automatically, or without careful thought being given to the particular circumstances of
the case. Schools must consider carefully whether the circumstances of the case warrant a person
8
being suspended from contact with children at the school until the allegation is resolved, and should
seek advice from their HR provider.
4.
4.1
5.
Action
Where the investigation shows there is a prima facie case for taking some action, the following will
apply:
i.
if the Chair of Governors suspects that a criminal offence has taken place, he/she will inform
the police, having taken advice as necessary. In this case, any internal investigation will be
postponed until the police investigation and any criminal proceedings which may arise, have
been completed;
ii.
otherwise the action to be taken at the end of the investigation will be covered by other
school policies and procedures, (for example the Disciplinary Policy) and will not be dealt
with here.
Response
5.1 The length of time over which the investigation will be carried out will vary, but should be as short as
is consistent with a thorough approach. If the investigation is prolonged, the Chair of Governors will
report to the employee making the allegation at regular intervals. All allegations must be investigated
as a priority so as to avoid any delay. Target timescales are shown below for different actions in the
summary description of the process. The time taken to investigate and resolve individual cases
depends on a variety of factors including the nature, seriousness and complexity of the allegation, but
these targets should be achieved in all but truly exceptional cases. It is expected that 80 per cent of
cases should be resolved within one month, 90 per cent within three months, and all but the most
exceptional cases should be completed within 12 months.
For those cases where it is clear immediately that the allegation is unfounded or malicious then it is
expected that they should be resolved within one week. Otherwise it may need a full investigation to
determine this. Where the initial consideration decides that the allegation does not involve a possible
criminal offence it will be for the Governing Body to deal with it, although if there are concerns about
child protection, the Chair/Headteacher should discuss with the LADO. In such cases, if the nature of
the allegation does not require formal disciplinary action, the head teacher should institute
appropriate action within 3 working days.
5.2
6.
At the end of the investigation, the Chair of Governors will, as far as is possible and with due regard
to third party rights, inform the employee making the allegation of the outcome. If the decision is
that no action be taken, either because the allegation has not been made out or it concerns weak
practice, (see paragraph 3.1ii of the procedure), the reasons for this decision will be made known to
the employee making the allegation.
Appeal
6.1
(Only applicable to maintained schools) If the employee making the allegation is not satisfied
with the decision or where members of staff, or individual governors, have concerns relating to the
conduct of the Governing Body and/or the Senior Management of the school, and where it would be
unreasonable to raise these concerns within the school, then the nominated Director of Children
Services (DCS) postholder or the Head of Service for Education and Learning (or his or her
nominee) should be contacted so the appeal can be considered.
6.2
Depending on the nature of the matter raised, If the employee reasonably believes that the
appropriate action has not been taken, he/she should report the matter to the proper authority. The
legislation sets out a number of bodies to which qualifying disclosures may be made. These
include:
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7.
7.1
7.2
i.
HM Revenue & Customs;
ii.
the Financial Services Authority;
iii.
the Office of Fair Trading;
iv.
the Health and Safety Executive;
v.
the Environment Agency;
vi.
the Office for Standards in Education,
https://contact.ofsted.gov.uk/onlinecomplaints
vii.
the Director of Public Prosecutions; and
viii.
the Serious Fraud Office.
Children’s
Services
and
Skills,
click
Safeguards
Harassment or Victimisation
i.
The school recognises that the decision to report a concern can be a difficult one to make not
least because of fear of reprisal from those responsible for the malpractice. The school will
not tolerate harassment or victimisation in any form and will take action and put in place
support measures to protect employees who raise a concern. Disciplinary procedures are
already in place to address any potential attempts at harassment or victimisation.
ii.
It is accepted by the school that employees may feel concerned that by raising areas of
concern, their future careers may be detrimentally affected. This will not be the case and
those raising concerns in the public interest may be assured that those concerns will be
treated with the utmost respect and will play no part in future decisions related to an
employee’s progress or promotion.
iii.
If an employee who raises a concern is already the subject of disciplinary, redundancy or
similar procedures, confidential reporting will not halt these procedures but every effort will be
made on the part of the investigating officer to ensure that the issues are not inter-related or
connected in any way.
Confidentiality
All efforts will be made to protect an employee’s identity when they raise a concern and do not want
their name to be disclosed; however, it must be appreciated that the investigation process may
reveal the source of the information and a written statement by the employee may be required as
part of the evidence, especially if the next step is a police investigation and prosecution.
7.3
Anonymous Allegations
i.
The school accepts that employees will raise genuine concerns that are based on factual
evidence or direct observation. With this in mind, employees are encouraged to put their
names to any allegation. Concerns expressed anonymously are much less powerful and far
more difficult to investigate and prove, however, they will be considered at the schools’
discretion.
ii.
In deciding whether to investigate an anonymous allegation, it will be necessary to consider
the seriousness of the allegation, its validity and whether evidence can be obtained in order
to proceed with an investigation. In making this consideration the factors to be taken into
account would include:
-
7.4
the seriousness of the issues raised;
the credibility of the concern; and
the likelihood of confirming the allegation from other sources in the face of a denial
from the accused person(s).
Untrue Allegations
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7.5
i.
If employees make an allegation without personal gain, which is based on evidence,
observation or a series of unexplainable instances, but it is not confirmed by the
investigation, no action will be taken against that employee who will be fully supported after
the event. If, however, employees make malicious or vexatious allegations, disciplinary action
may be taken.
ii.
Equally, if malicious allegations are made against the employee, the school will ensure that
the employee is fully supported and that appropriate disciplinary action is taken against the
person making the malicious allegations.
Further Information for Employees
There may be circumstances when employees wish to seek independent advice before raising a
concern internally. The charity Public Concern at Work (PCaW) provides free confidential advice to
workers who have concerns about wrongdoing in the workplace and can be found at
www.pcaw.co.uk / [email protected].
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Appendix 2
Confidential Reporting Procedure - Internal Procedures Flowchart
Disclosure
Contact your immediate line manager or headteacher or Chair
Initial Interview
Investigation
Action
i.
No substance to the allegation - no action taken
ii.
Weak practice identified - referred to Line Manager
iii.
Allegation upheld - instigation of relevant Policy
iv.
Allegation upheld - potential criminal offence referred to the police
v.
Vexatious or malicious allegation - instigation of relevant Policy
Response
From the Chair or Vice Chair
Appeal
Director of Childrens Services or the Head of Service for Education & Learning (or his or
her nominee)
Service Director (or nominee) decision as to action to be taken:
i.
Confirm findings
ii.
Re-investigate the matter and take the appropriate response following the
findings of the further investigation
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Appendix 3
Model Whistleblowing Form
Making a Public Interest Disclosure (Whistleblowing)
Guidance
This form is intended for use by any individual working in the school, (including contractors, agency
workers and volunteers) who wishes to raise an issue about wrongdoing.
This form should be used to report wrongdoing within the school, (for example, financial irregularities or
health and safety concerns), rather than to raise a personal grievance (for example, if you would like to
make an allegation of bullying or harassment, or are complaining that your contract of employment has
been breached).
If you are unsure about whether your concerns are best dealt with under the Whistleblowing Policy or
Grievance Procedure, please read the Whistleblowing Policy, which provides examples of the issues that
should be reported using this form. If, having read the Whistleblowing Policy, you remain unsure about
which procedure to use, please consult the Chair of Governors for further advice.
Once you have submitted this form, the whistleblowing procedure will be invoked. This will result in an
investigation, which will not involve anyone, (for example, your line manager) you may have implicated
below.
In certain circumstances, you can request that your concerns be kept anonymous. Where possible, the
organisation will respect a request for anonymity, but cannot guarantee that it will be able to do so.
This form should be completed and delivered to the Chair of Governors in an envelope marked
"confidential" or sent as an email attachment with "confidential" in the subject line.
Formal Public Interest Disclosure (Whistleblowing)
Employee's name:
Employee's job title:
Employee's department:
Date:
Does your public interest disclosure relate to
Yes / No
your line manager?
Summary of disclosure:
Please set out the details of the issue that you wish to raise, providing examples where possible,
particularly dates, times, locations and the identities of those involved. You may attach additional sheets if
required.
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Individuals involved:
Please provide the names and contact details of any people involved in your concerns, including
witnesses.
Outcome requested:
Please set out how you would like to see the issue dealt with, and why and how you believe that this will
resolve the issue.
Declaration:
I confirm that the above statements are true to the best of my knowledge, information and belief. I
understand that, if I knowingly make false allegations, this may result in the organisation taking
disciplinary action against me.
Form completed by:
Signature:
For completion by the school:
Date form received:
Name of recipient and job role:
Signature:
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Appendix 4
Anti-Bribery Statement
1.
Introduction
1.1
The Bribery Act 2010 introduced a new, clearer regime for tackling bribery. This anti-bribery
statement sets out the policy for dealing with bribery or suspected bribery, namely the prohibition of
any form of theft, fraud, bribery or corrupt practices, whether covered directly by the Bribery Act
2010 or not.
1.2
The school is committed to maintaining an honest, open and constructive culture so as to best fulfil
its objectives. It is therefore committed to the elimination of theft, fraud, bribery and corruption, to
the rigorous investigation of any such allegations and to taking appropriate action against wrong
doers, including possible criminal prosecution.
1.3
The overall aims of this statement are to:
i.
assist in promoting a climate of openness and a culture and environment where staff feel
able to raise concerns sensibly and responsibly;
ii.
set out the schools’ responsibilities in terms of the deterrence, prevention, detection and
investigation of bribery and corruption;
iii.
ensure the appropriate sanctions are considered following an investigation, which may
include any or all of the following:
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1.4
2.
criminal prosecution;
civil prosecution;
internal/external disciplinary action (including professional/regulatory bodies).
All employees should be aware that theft, fraud, bribery and corruption will normally be regarded as
a serious disciplinary offence which will be addressed in accordance with the school Disciplinary
Policy and associated procedures.
Definitions
2.1
‘Bribery’ means the taking of an inducement for an action which is illegal, unethical or a breach of
trust. Inducements can take the form of gifts, loans, fees, rewards or other advantages. A bribe
might be taken in order to gain any commercial, contractual or regulatory advantage for the school
in a way which is unethical or for personal advantage, pecuniary, or otherwise, for the individual or
anyone connected with the individual.
2.2
‘Corruption’ means the offering or acceptance of inducements, gifts, favours, payment or benefit-inkind which may influence the action of any person. Corruption does not always result in a loss. A
corrupt person may not benefit directly from their deeds; however, they may be unreasonably using
their position to give some advantage to another. It is a common law offence of corruption to bribe
the holder of a public office and it is similarly an offence for the office holder to accept a bribe.
3.
Rationale
3.1
Bribery is a criminal offence for both individuals and commercial organisations and can be punished
with imprisonment of up to 10 years or unlimited fines.
3.2
The school will not commit an offence of failing to prevent bribery, if it can show that it had
‘adequate procedures’ in place to prevent bribery.
4.
Scope
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4.1
This statement applies to all employees regardless of position held, as well as those acting on
behalf of the school, including Directors, other volunteers, temporary workers, consultants,
contractors, and/or any other parties who have a business relationship with the school. It will be
brought to the attention of all employees and Directors and will form part of the induction process
for new staff.
4.2
The school has procedures in place that reduce the likelihood of theft, fraud, bribery or corruption
occurring. These include Standing Orders, Financial Regulations, documented policies and
procedures, including whistleblowing and a system of internal control (including Internal and
External Audit) and risk assessment.
5.
Core Principles
5.1.
The school operates a zero tolerance attitude in respect of theft, fraud, bribery and corruption.
5.2
All staff have a personal responsibility to protect the school from theft, fraud, bribery or corruption,
are responsible for maintaining the highest standards of business conduct and are expected to
behave honestly and with integrity.
5.3
In the event that a member of staff becomes suspicious that theft, fraud, bribery or corruption is
being committed, they are fully authorised to take immediate action to prevent further or to secure
evidence. Any such action should be reported to senior management. Where such action or
reporting is not possible the Whistleblowing Policy should be used to report the matter.
5.4
If it subsequently becomes clear that those suspicions and actions were ill founded, then the school
will not discipline the member of staff concerned, unless it is considered that the action was
motivated by personal animosity.
5.5
Individuals must not communicate directly with any member of the press, media or any other third
party about a suspected act of theft, fraud, bribery or corruption, but should address any such
concerns in accordance with the Whistleblowing Policy.
5.6
All gifts, payments or any other contribution received, whether in cash or in kind, shall be
documented, regularly reviewed, and properly accounted for.
5.7
The school will procure goods and services ethically and transparently with the quality, price and
value for money determining the successful supplier/contractor, not by receiving (or offering)
improper inducements.
5.8
The school prohibits employees and associated persons from offering, giving, soliciting or accepting
any bribe in any way, or to give, or be perceived to have given, a financial or other advantage to
any person, (whether a UK or foreign public official, political candidate, party official, private
individual, private or public sector employee or any other person) in order to induce that person to
perform his/her functions or activities improperly.
5.9
The school may, in certain circumstances, be held responsible for acts of bribery committed by
intermediaries acting on its behalf such as subsidiaries, clients, business partners, contractors,
suppliers, agents, advisors, consultants or other third parties. The use of intermediaries for the
purpose of committing acts of bribery is therefore prohibited.
5.10 Facilitation payments are prohibited under the Bribery Act like any other form of bribe. They shall
not be given by the school or its employees in the UK or any other country.
5.11 This statement is not intended to prohibit appropriate corporate entertainment and / or hospitality
undertaken in connection with the schools’ business activities, provided the activity is customary
under the circumstances, is proportionate, and is properly recorded / disclosed as set out in the
Financial Regulations.
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